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Showing 171 to 180 of 829 search results for senior managers regime.

171. CASS compliance – the bigger picture

     Speeches Published: 02/12/2014 Last modified: 19/12/2014
     Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version.

172. Regimes for EEA firms and investment funds that passported into the UK

     Firms Focus areas Published: 31/12/2020 Last modified: 13/03/2024
     EEA-based firms and investment funds can no longer passport into the UK. Find out about the regimes that help those firms operate or wind down their business.

173. Learning the lessons of the past as an industry

     Speeches Published: 02/12/2014 Last modified: 04/02/2015
     That is not a challenge that will disappear, even taking into account the criminal sanction for recklessness in the Banking Reform Act and the presumption of responsibility for senior managers that ... Importantly, the new senior managers regime for

174. Promoting competitiveness is a juggling act

     Speeches Published: 18/04/2024 Last modified: 18/04/2024
     Speech by Sarah Pritchard, Executive Director, Markets and Executive Director, International at TheCityUK International Conference 2024.

175. Regulatory Sandbox

     Firms Published: 27/03/2022 Last modified: 09/05/2024
     The Regulatory Sandbox is for firms wanting to test new products live in the market with real consumers. Find out more about it and how to apply.

176. Climate change and sustainable finance

     Published: 19/04/2021 Last modified: 24/06/2024
     The FCA's work on climate change and other environmental, social and governance (ESG) issues.

177. The Importance of Diversity

     Speeches Published: 05/02/2019 Last modified: 08/02/2019
     Speech by Andrew Bailey, Chief Executive of the FCA, at the PIMFA Wealth of Diversity Conference 2019.

178. Information on enforcement investigations under SMR - June 2022

     FOI Release Date of Release: 06/06/2022
     The FCA answers multiple questions on enforcement investigations under the Senior Managers and Certification Regime.

179. Leading the Way on Regulation

     Speeches Published: 16/05/2019 Last modified: 17/05/2019
     Speech delivered by Karina McTeague, Director of General Insurance and Conduct Specialists Supervision, at the British Insurance Brokers' Association (BIBA) Conference 2019.  

180. Principals and appointed representatives

     Tasks for firms Firms Published: 09/05/2015 Last modified: 24/04/2024
     If you’re a principal firm for an appointed representative (AR), find out what your responsibilities are and when to notify the FCA.